DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

D••••• O••••• S••••••

R••••• G•••• • A••••••••• L••state registeredParsippany, Nj IA-onlyIAPD 5581620

Feed of 09/15/2026

Also filed as D••••• O S••••••

At current firm

0 y

since Dec 17, 2025

In the industry

15 y

since Jan 19, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R••••• G•••• • A••••••••• L•• state registered current
since Dec 17, 2025 · Parsippany, Nj
M•• I•••••••• S•••••••• L•• BD affiliated
May 9, 2024 to Nov 26, 2025 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 28, 2011 to Apr 7, 2016 · New York, Ny
M••••• S•••••• wirehouse
Jan 19, 2011 to Aug 26, 2011 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to R••••• G•••• • A••••••••• L••
left Nov 26, 2025, registered Dec 17, 2025 (21 days) · Affiliated broker-dealer or bank to a state-registered adviser
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• I•••••••• S•••••••• L••
left Apr 7, 2016, registered May 9, 2024 (2954 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 26, 2011, registered Sep 28, 2011 (33 days) · Wirehouse to wirehouse

Signals

D••••• O••••• S•••••• left M•• I•••••••• S•••••••• L•• for R••••• G•••• • A••••••••• L•• (registered 2025-12-17)
Nov 26, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: STATE REGISTEREDderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address